The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of the Firm’s policies and legal/regulatory requirements.
As an Associate within the Surveillance team, you will work in close partnership with various Compliance teams and groups across the Firm. If you are driven, proactive with a keen interest in financial markets and trading activities, you may be the perfect fit for our team. This role specifically will be part of the Communications Surveillance team.
Job responsibilities
* Review communications surveillance alerts on a daily basis across different asset classes
* Perform thorough review of communication content and research relevant information
* Engage with business aligned compliance teams, surveillance technology partners and other key stakeholders
* Carry out ad hoc reviews and searches
Required qualifications, capabilities, and skills
* Good knowledge of financial markets and products
* Strong analytical and risk assessment skills, strong attention to details
* Excellent investigative instincts and background/experience in reviewing communications
* You have the ability to effectively partner with key stakeholders and technology partners
* Additionally you possess:
o initiative and judgement
o the ability to prioritise conflicting demands, be proactive, well-organised and work under pressure
o skills to work with management and forge strong partnerships with colleagues
o the ability to work independently and in teams and the readiness to share knowledge
o strong oral and written communication skills
Preferred qualifications, capabilities, and skills
* Degree or overseas equivalent would be desirable but not essential
* Non-English language skills preferred
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